● Discuss the role of the Securities Exchange Commission (SEC)
and the National Association of Securities Dealers (NASD) in
regulating the securities industry. Also discuss the role that the
stock exchanges play in regulation.
● The Securities Investor Protection Corporation (SIPC) plays an
interesting role in the securities market; discuss its purpose.
● Discuss the role foreign markets have played in the expansion
of U. S. securities firms. Include details.
● Define arbitrage as it applies to the securities markets...
What role has the Securities and Exchange Commission played in
setting accounting standards? Contrast its role with that played by
the Financial Accounting Standards Board.
Describe the involvement of the issuing firm, the underwriter
and the Securities and Exchange Commission in the process of an
Initial Public Offering. Describe the common commitments of both
the underwriter and the shareholder of the issuing firm in the
Aftermarket. Describe a Rights Offering. What are the advantages of
a Rights Offering over a Seasoned Equity Offering through an
Underwriter? What is a Private Equity Investor, and what sort of
firms do they tend to take equity stakes in,...
Suppose the U.S. government decided to abolish the Securities
and Exchange Commission and Office of the Comptroller of the
Currency. How would it affect the investment and growth in the
economy?
Case:
Questions: 1. How does the Securities and Exchange Commission
assist in preventing fraud? 2. You are a manager in the sales
department of a company and you are anticipating a promotion to
vice president of sales if your division maintains good
performance. You received the sales budget for the company and
realized that top management has set revenue targets for your
division that are realistically unreachable. What actions would you
take to satisfy management’s expectations and still maintain your...